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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 30-NOV-2007 TO 07-AUG-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

STOCK BROKERS: VIOLATED SEBI (PFUTP) REGULATIONS, 2003

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ANAND RATHI SHARE & STOCK BROKERS LTD.

(PAN:AAACN3405F)

(Member : BSE/NSE)  
  ALLEGED FAILURE TO ENSURE FAIRNESS AND EXERCISE DUE DILIGENCE BY NOT KEEPING TRANSPARENCY AND CREDIBLE RECORDS OF DULY AUTHORIZED PERSON OF MEHRANGARH FINANCIAL ADVISORS PVT.LTD. WITH RESPECT TO PLACEMENT OF ORDERS TO THE APPLICANT FOR EXECUTING TRADES ON THE STOCK EXCHANGE PLATFORM IN MATTER OF KPIT TECHNOLOGIES LTD.

ALLEGED THAT APPLICANT REGISTERED THE EMAIL IDS OF EMPLOYEES ASSOCIATED WITH ITS OWN GROUP COMPANIES INSTEAD OF REGISTERING EMAIL ID OF THE CLIENT OR ITS DULY AUTHORIZED PERSON IN MATTER OF KPIT TECHNOLOGIES LTD.

ALLEGED OFF-MARKET TRANSFERS PROCESSED WITH DELIVERY INSTRUCTION SLIPS (DIS) DATED 03/03/2017 AND 01/03/2018, RELYING ON INSTRUCTIONS FROM AUTHORIZED SIGNATORY OF THE APPLICANT IN MATTER OF KPIT TECHNOLOGIES LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.90,20,000 VIDE CONSENT ORDER)

13-MAY-2025 		 
2
History of entity/person SHAREKHAN LTD.

(PAN:AAECS5096H)

(Member : BSE/NSE)  
  ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES THROUGH ITS PROPRIETARY TRADING ACCOUNT AND MADE PERSONAL GAINS VIOLATING SECTION 12A(A) TO (C) READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4(2) (Q) OF SEBI (PFUTP) REGULATIONS, 2003

ALLEGED FACILITATE CERTAIN FRONTRUNNERS TO CARRY OUT FRONT-RUNNING ACTIVITY DISREGARDING ALERTS RECEIVED FROM STOCK EXCHANGE AND ALLOWED IMPROPER USE OF INFORMATION OF CONFIDENTIAL NATURE OF CLIENTS BY DEALERS VIOLATING REGULATION 9 READ WITH CLAUSES A(3), A(4) AND B(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,93,25,000 VIDE CONSENT ORDER)

23-APR-2019 		SEBI VIDE ITS ADDENDUM ORDER DATED 04/06/2019 CONFIRMED THAT SHAREKHAN LTD. HAS DEPOSITED RS.50,93,894.00 (ILLEGAL GAINS OF RS.30,83,807 AND INTEREST OF RS.20,10,087) IN ESCROW ACCOUNT WITH PUNJAB NATIONAL BANK ON 01/08/2015  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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